FINRA fine
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December 15, 2011

Wells Fargo Fined $2 Million by FINRA for Sale of...

The Financial Industry Regulatory Authority (FINRA) has announced that it has

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October 7, 2011

Federal Appeals Court Rules against FINRA on Fine Collection Issue

Multiple outlets are reporting that a Manhattan federal appeals court has ruled that

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June 1, 2011

David Lerner Associates Investigated by FINRA over Apple REIT sales

According to the Investment News, David Lerner Associates Inc. has been accused of

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May 18, 2011

B.C. Ziegler and Company fined by FINRA

B.C. Ziegler and Company (CRD #61, Chicago, Illinois) submitted a Letter of

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May 16, 2011

Workman Securities Corporation Sanctioned by FINRA

Workman Securities Corporation (CRD #31898, Eden Prairie, Minnesota) recently

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May 16, 2011

The Firm of Cantor Fitzgerald & Co. Fined by FINRA

Cantor Fitzgerald & Co. (CRD #134, New York, New York) recently submitted a

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May 10, 2011

FINRA Fines Wells Fargo $1,000,000

The Financial Industry Regulatory Authority (FINRA) recently announced that it has

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April 15, 2011

FINRA Fines Jefferies & Company Over Auction Rate Securities

The Financial Industry Regulatory Authority (FINRA) recently announced that it has

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January 12, 2011

Recovery of Charles Schwab YieldPlus Losses

The White Law Group is investigating claims on behalf of investors that invested in

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November 24, 2010

FINRA fines Next Financial for Supervisory Failures

In 2009, FINRA announced that it had fined NEXT Financial Group, Inc., headquartered

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